Haselkorn & Thibaut has initiated an investigation into financial advisor Bill Van Pelt (CRD# 1716622), a broker now registered with Ridgeback Securities in Houston, Texas, and formerly with The Baldwin Group Wealth Advisors. If you’ve invested with Mr. Van Pelt or these firms and have concerns about your accounts, our team is available for a free, confidential consultation. With more than 50 years of experience, a 98% success rate, and millions recovered for clients nationwide, Haselkorn & Thibaut offers no recovery, no fee representation. Call us at 1-888-994-8066 today.
Comprehensive Review: Who Is Bill Van Pelt?
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Bill Van Pelt is a seasoned Houston, Texas-based financial advisor who holds more than 35 years of industry experience. According to public records and FINRA BrokerCheck, Mr. Van Pelt is currently registered as a broker with Ridgeback Securities and previously spent several years with The Baldwin Group Wealth Advisors.
Professional Timeline:
- Started in the securities industry in 1996
- Ridgeback Securities (Houston, TX): 2022–Present
- The Baldwin Group Wealth Advisors: 2018–2022
- Other prior affiliations include BKS Retirement Services, Emergent Capital Advisors, First Heartland Capital, American General Securities, Advantage Capital, Portfolio Asset Management, and Capital Analysts
Mr. Van Pelt has successfully completed seven key securities industry exams, including:
- Series 7 (General Securities Representative/Stockbroker)
- Series 24 (General Securities Principal)
- Series 27 (Financial and Operations Principal)
- Series 14 (Compliance Officer Examination)
- Series 63 (Uniform Securities Agent State Law Exam)
- Series 99TO (Operations Professional)
He is licensed to advise investors in multiple states, such as Texas, Florida, New York, California, and more, making his practice accessible to a broad client base.
Employment Termination: The Baldwin Group
In September 2025, Bill Van Pelt was terminated from The Baldwin Group Wealth Advisors. According to records, the reason stated was a failure to adhere to company policies—specifically the firm’s “Code of Business Conduct and Ethics.” The Baldwin Group’s internal policy expects all representatives to “act with honesty and integrity and in full compliance with all applicable laws, rules and regulations” and to safeguard company assets against misuse or loss.
- Allegation: Termination for non-compliance with internal business conduct and ethics policies
- No regulatory suspension, fines, or loss of license has been reported as a result of this event as of the latest available records
Public Record Findings: Complaints, Red Flags, and Regulatory Actions
| Category | Status (as of November 2025) | Details |
|---|---|---|
| Customer Complaints | None reported | No complaints or allegations of misconduct have been filed by customers through FINRA. |
| Regulatory Actions | None disclosed | No disciplinary history with the SEC or FINRA. |
| Civil Suits / Arbitrations | None found | No lawsuits, arbitration cases, or settlements shown on record. |
| SEC or State Investigations | None revealed | No enforcement actions by federal or state regulators. |
| Termination Disclosure | Yes | Fired by The Baldwin Group for alleged failure to comply with internal policy. |
What Does This Mean for Investors?
While Mr. Van Pelt’s regulatory record is devoid of formal customer complaints or regulatory disciplinary actions, the recent termination for alleged policy violations is a significant red flag for prudent investors. Although there is no formal accusation of fraud or securities misconduct on file, any breach of an advisory firm’s code of ethics is noteworthy and should prompt investors to pay closer attention to their accounts.
As an investor, you deserve to feel confident and informed about your advisor’s background and your account’s management. When a termination occurs for reasons related to integrity or compliance, it’s prudent to:
- Request and review all account statements and trade confirmations
- Monitor for any unusual activity or unauthorized transactions
- Consult an experienced securities attorney if you notice unexplained losses or if you feel your portfolio was handled contrary to your risk tolerance or instructions
How to Stay Informed
- Check your advisor’s official registration status – Use FINRA BrokerCheck for real-time updates on Bill Van Pelt (CRD# 1716622).
- Monitor your own accounts for irregularities, especially if you were a client of The Baldwin Group or Ridgeback Securities.
- Set up alerts for your advisor’s name combined with his firm – this can provide you with timely updates should any new issues arise.
Haselkorn & Thibaut Can Help — Free Case Reviews for Investors
If you have questions or concerns about investments managed by Bill Van Pelt—especially during his tenure at The Baldwin Group or Ridgeback Securities—reach out to our experienced team at Haselkorn & Thibaut. Our seasoned attorneys review situations confidentially and at no charge. Our 98% success rate and no recovery, no fee promise gives you the peace of mind you deserve.
Contact Haselkorn & Thibaut now at 1-888-994-8066 for your free, confidential case review. Safeguard your financial future—your consultation is 100% risk free and strictly confidential.
